Kevin Shea
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Shea, who also goes by Kevin Patrick Shea, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 6 firms and has passed the Series 63, Series 56, Series 7, Series 25, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
January 23, 2001 - February 27, 2001
CAPIS
October 1, 2000 - December 15, 2006
SUNGARD GLOBAL EXECUTION SERVICES LLC
June 3, 1996 - January 22, 1997
TIJA MANAGEMENT, INC.
March 13, 1986 - March 10, 1987
JANNEY MONTGOMERY SCOTT LLC
October 26, 1984 - February 28, 1986
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 56
Date: 10/29/2011
Proprietary Trader Qualification ExaminationSeries 25
Date: 7/20/1999
NYSE Trading Assistant ExaminationCurrent Firm
DIMENSION TRADING GROUP, LLC
CRD#: 147929 / SEC#: , 8-67943
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
